Peter M. Hendricks
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Peter Michael Hendricks was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1970. Peter had worked at 11 firms and has passed the Series 63, Series 5, Series 1, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2010 - June 11, 2012
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
August 20, 2005 - May 1, 2010
BOFA DISTRIBUTORS, INC.
June 14, 2005 - August 20, 2005
BACAP DISTRIBUTORS, LLC
April 10, 2001 - June 14, 2005
COLUMBIA FINANCIAL CENTER INCORPORATED
May 7, 1997 - March 13, 1998
ABN AMRO INCORPORATED
November 4, 1992 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
November 4, 1992 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
November 4, 1992 - November 21, 1995
LEHMAN BROTHERS INC.
April 8, 1974 - June 28, 1991
SALOMON BROTHERS INC.
February 26, 1973 - April 6, 1974
SHIELDS & COMPANY INCORPORATED
June 15, 1970 - March 5, 1973
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 3/17/1982
Interest Rate Options ExaminationSeries 1
Date: 6/11/1970
Registered Representative ExaminationSeries 40
Date: 12/29/1977
Registered Principal ExaminationCurrent Firm
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
CRD#: 840 / SEC#: , 8-25845
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J. & W. SELIGMAN & CO. INCORPORATED | SOLE STOCKHOLDER | |
| BUFF, STEPHEN ODONNELL | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2143366 |
| BUMPUS, JAMES FREDERICK | DIRECTOR, VICE PRESIDENT, AND HEAD OF INTERMEDIARY MARKETS | 1928724 |
| DEFAO, MICHAEL E | VICE PRESIDENT, CHIEF LEGAL OFFICER AND ASSISTANT SECRETARY | 2687755 |
| MATTOX, MICHAEL SCOTT | CHIEF FINANCIAL OFFICER | 4383501 |
| TRUSCOTT, WILLIAM FREDERICK | CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2416857 |
| ZEITOUN, MARC CLAUDE | DIRECTOR, VICE PRESIDENT AND HEAD OF NORTH AMERICA PRODUCT | 2639942 |
Disclosures
| Civil Event | 1 |
Red Flags
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